FINRA Disciplinary Actions March 2022
IAN MICHAEL PIERCE (CRD #6205487, WEST HARTFORD, CONNECTICUT) February 23, 2022 – An AWC was issued in which Pierce was barred from association with any …
IAN MICHAEL PIERCE (CRD #6205487, WEST HARTFORD, CONNECTICUT) February 23, 2022 – An AWC was issued in which Pierce was barred from association with any …
JOSHUA DAVID NICHOLAS (CRD #6529944, STUART, FLORIDA) January 24, 2022 – An AWC was issued in which Nicholas was barred from association with any FINRA …
In a bombshell decision, Atlanta’s Fulton County Superior Court has vacated an arbitration award to Wells Fargo Advisors LLC and Wells Fargo Clearing Services LLC …
FINRA Fraud: Wells Fargo Manipulated Investor Arbitration Process? Read More »
JASON PATRICK HAMBY (CRD #3089278, BLACKSBURG, VIRGINIA) December 22, 2021 – An AWC was issued in which Hamby was barred from association with any FINRA …
MURRAY TODD PETERSEN (CRD #1311730, ROSEVILLE, CALIFORNIA) November 22, 2021 – An AWC was issued in which Petersen was barred from association with any FINRA …
The US has taken major strides to improve gender equality over the past several decades. Women are claiming their autonomy in every field, from winning …
Boardroom Blues: Why Renegotiating C-Suite Positions Is Essential for Women Read More »
Entertainment is known to be a brutal industry. In crowded markets like California, entertainers have so much competition that they are willing to accept poor …
Proposed Legislation May Provide California Entertainers with Better Labor Protections Read More »
DAEMON L. JOHNSON (CRD #7168475, BLOOMFIELD HILLS, MICHIGAN) October 28, 2021 – An AWC was issued in which Johnson was barred from association with any …
October 14, 2021 – Girard Bengali, APC is currently investigating former Western International Securities advisor Christopher Booth Kennedy for potentially engaging in unauthorized trading in …
Women have been fighting for equal rights for centuries. In the US, the women’s rights movement can be traced back to the 19th century, when …
Going Nowhere Fast: The Continuing Gendered Pay Gap in Financial Services Read More »